handbook on measurement, reporting and ......handbook on measurement, reporting and veri1cation for...

Handbook on

MEASUREMENT, REPORTING AND VERIFICATIONFOR DEVELOPING COUNTRY PARTIES

© 2014 United Nations Climate Change Secretariat

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Handbook on

MEASUREMENT, REPORTING AND VERIFICATIONFOR DEVELOPING COUNTRY PARTIES

4

United NationsFramework Convention onClimate Change

Handbook on Measurement, Reporting and Verification for developing country Parties

FOREWORD

Parties to the United Nations Framework Convention on Climate Change are obliged

to communicate to the Conference of the Parties (COP), through the secretariat,

information on the actions they have taken or envisage they will take to implement

the Convention. This is seen as a key implementation aspect of the Convention, as

it allows Parties to inform one another of their national level actions and serves as a

basis for the COP to assess the implementation of the Convention by Parties.

The reporting provisions contained in the Convention were further enhanced

through the Bali Action Plan adopted at COP 13 in 2 007. The Bali Action Plan in-

troduced the principle of measurement, reporting and verification (MRV) for both

developed and developing country Parties in the context of enhancing action at

the international and national level to mitigate climate change. This principle was

further elaborated through a number of subsequent COP decisions, resulting in a

comprehensive MRV framework under the Convention.

For developing country Parties, the existing MRV framework encompasses submit-

ting national communications every four years and biennial update reports (BURs)

every two years, undergoing international consultation and analysis (ICA), setting

up domestic MRV of domestically supported nationally appropriate mitigation

actions (NAMAs), and undertaking MRV of REDD-plus activities for the purpose of

obtaining and receiving results-based incentives.

The COP also addressed financial and technical support that aims to facilitate devel-

oping countries to meet their reporting requirements and to improve the process of

the technical analysis of BURs, which is one of the steps in the ICA process.

The fact that the relevant requirements issued by the COP on the MRV framework

are scattered over multiple COP decisions makes it difficult for stakeholders who are

not directly involved in the intergovernmental negotiation process to comprehend

these requirements. This handbook has thus been prepared to serve as a ‘one-stop

shop’ providing an overview of the full package of decisions adopted by the COP on

the MRV framework for developing countries. It is my expectation therefore that this

handbook will contribute to enhancing the understanding of experts and practition-

ers on the ground who are supporting and/or implementing climate actions, of the

aspects of the MRV framework for developing countries.

Christiana Figueres, Executive SecretaryUnited Nations Convention on Climate Change

Bonn, Germany, December 2014

5



PREFACE

In the context of the MRV framework for developing countries, it is critical that a full understanding of the associated

concepts, elements, and requirements resulting from intergovernmental negotiations be realized at the national level

by experts, practitioners and other stakeholders on the ground.

With that in mind, the secretariat has developed this handbook to disseminate relevant information on the MRV frame-

work for developing countries and to demystify associated concepts and elements.

The handbook is structured into three sections providing general context and an overview of the contents of the hand-

book, an outline of relevant MRV concepts and the chronological context of the development of the MRV framework as

well as an overview of the key elements of the MRV framework at the international level structured around information

on national communications, BURs and consideration of reports through the ICA process. Technical and financial sup-

port for MRV activities is also covered, as are the key elements of national MRV frameworks, domestic MRV of domesti-

cally supported NAMAs and MRV for REDD-plus actions.

The secretariat encourages the use of this handbook to gain a clearer understanding and overview of the MRV frame-

work for developing countries. It is our hope that it will prove to be a useful resource that will help developing countries

to efficiently and effectively implement the MRV framework.

Donald Cooper, CoordinatorMitigation, Data and Analysis Programme

6



ACRONYMS

BURs Biennial update reports

CGE Consultative Group of Experts on National Communications from Parties not included in Annex I to the Convention

CH4 Methane

CO Carbon monoxide

CO2 Carbon dioxide

COP Conference of the Parties

EFDB Emission factor database

GCF Green Climate Fund

GDP Gross domestic product

GEF Global Environmental Facility

GHG Greenhouse gas

GPG Good practice guidance

GWP Global warming potential

HFCs Hydroflourocarbons

ICA International consultation and analysis

IPCC Intergovernmental Panel on Climate Change

IPCCGPG 2000 Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories

IPCC GPG 2003 Good Practice Guidance for Land Use, Land-Use Change and Forestry

LDCs Least developed country Parties

LUCF Land use change and forestry

LULUCF Land use, land-use change and forestry

MRV Measurement, reporting and verification

N2O Nitrous oxide

NAMAs Nationally appropriate mitigation actions

NC National communication

NMVOCs Non-methane volatile organic compounds

Non-Annex I Parties not included in Annex I to the Convention

NOx Nitrogen oxides

PFCs Perfluorocarbons

QA Quality assurance

QC Quality control

REDD Reducing emissions from deforestation and forest degradation

SBI Subsidiary Body for Implementation

SF6 Sulphur hexafluoride

SIDS Small island developing States

SOx Sulphur oxides

TTE Team of technical experts

UNFCCC United Nations Framework Convention on Climate Change

7



CONTENTS 1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2 MEASUREMENT, REPORTING AND VERIFICATION (MRV): BACKGROUND AND HISTORIC TIMELINES . . . . . . . . . . . . . . . . . . . . . . .10

3 KEY ELEMENTS OF THE MRV FRAMEWORK AT THE INTERNATIONAL LEVEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

3.1 National communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

3.1.1 National circumstances and institutional arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19

3.1.2 National greenhouse gas inventories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21

3.1.3 General description of steps taken or envisaged to implement the Convention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

3.1.4 Programmes containing measures to facilitate adequate adaptation to climate change . . . . . . . . . . . . . . . . . . . . . .24

3.1.5 Programmes containing measures to mitigate climate change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

3.1.6 Other information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26

3.1.7 Constraints and gaps, and related financial, technical and capacity-building needs . . . . . . . . . . . . . . . . . . . . . . . . . .26

3.2 Biennial update reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .27

3.2.1 National circumstances and institutional arrangements relevant to the preparation of national

communications on a continuous basis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29

3.2.2 National greenhouse gas inventories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

3.2.3 Mitigation actions and their effects, including associated methodologies and assumptions . . . . . . . . . . . . . . . . . . .33

3.2.4 Information on domestic measurement, reporting and verification of domestically supported

nationally appropriate mitigation actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .37

3.2.5 Constraints and gaps, and related financial, technical and capacity-building needs, including a

description of support needed and received . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38

3.2.6 Information on the level of support received to enable the preparation and submission

of biennial update reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .39

3.2.7 Any other information relevant to the achievement of the objective of the Convention and suitable for

inclusion in the biennial update report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40

3.3 International consultation and analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41

3.4 Technical and financial support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

3.4.1 Financial support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

3.4.2 Technical support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45

3.5 Key elements of national MRV frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

3.6 Domestic MRV of domestically supported NAMAs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .48

3.7 MRV for REDD-plus activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

3.7.1 Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

3.7.2 Modalities for MRV for REDD-plus activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .52

INTRODUCTION

Chapter 1

9



Article 12 of the Convention obliges all Parties, in accor-

dance with Article 4, paragraph 4, to communicate to

the Conference of the Parties (COP) information relevant

to the implementation of the Convention, including in

relation to emissions and removals. This allows the Con-

vention to have reliable, transparent and comprehensive

information on emissions, actions and support, thereby

forming an essential basis for understanding current

emission levels, and the ambition of existing efforts, as

well as progress on both the national and international

scale.

The arrangements for national reporting have evolved

throughout the history of the Convention and its Kyoto

Protocol into a more comprehensive measurement, re-

porting and verification framework. Measures to signifi-

cantly enhance transparency of action and support under

the Convention were adopted as part of the Bali Action

Plan at COP 13 and elaborated in decisions adopted at

subsequent COPs.

This handbook is aimed at a non-negotiator audience,

including climate change practitioners on the ground.

It provides an overview of the full package of decisions

adopted in the international negotiations concerning

measurement, reporting and verification (MRV) provi-

sions for developing countries under the Convention,

including measurement and reporting through national

communications and biennial update reports (BURs); pro-

cedures for international consultation and analysis (ICA);

and guidelines for domestic MRV frameworks, including

those for domestically supported nationally appropriate

mitigation actions (NAMAs) and activities relating to

reducing emissions from deforestation and forest degra-

dation, and the role of conservation, sustainable manage-

ment of forests and enhancement of forest carbon stocks

in developing countries (REDD-plus).1

1) The REDD-plus activities are listed in decision 1/CP.16, paragraph 70.

MEASUREMENT, REPORTING AND VERIFICATION (MRV): BACKGROUND AND HISTORIC TIMELINES

Chapter 2



11

The United Nations Framework Convention on Climate

Change, which was adopted in 1992 and entered into

force in 1994, laid the foundation for the current system

of reporting of information related to its implementation.

Information on greenhouse gas (GHG) emissions by sourc-

es and removals by sinks, as well as on the actions that

Parties are taking to mitigate and adapt to climate change

and to implement the Convention, is key in determining

the progress in the implementation of the Convention,

both internationally and at the national level.

Over the decade that followed the entry into force of the

Convention, the international framework was further

elaborated, including the development of a structured

approach to measurement, reporting and, after COP 13 in

Bali, also to verification. Parties adopted a number of de-

cisions detailing guidance, including on the content and

frequency of national communications, and established

provisions for biennial update reports (BURs) and domes-

tic frameworks for measurement, reporting and verifi-

cation (MRV). They also adopted a number of decisions

on the financial and technical support to be provided to

help Parties not included in Annex I to the Convention

(non-Annex I Parties) meet their reporting obligations.

Furthermore, a process for international consultation and

analysis (ICA) of BURs has been established.

This chapter provides a chronological overview of the

evolution and the key decisions on MRV for developing

country Parties through to COP 19 in Warsaw2 (see figure

1 below) and outlines the key concepts around MRV. The

chapters that follow provide a more detailed explanation

of each of the specific elements of the MRV framework.

According to the provisions of the Convention, all Parties

need to report to the COP information on their emissions

by sources and removals by sinks of all GHGs not con-

trolled by the Montreal Protocol, and on the steps they are

taking to implement the Convention through national

communications. The latter includes national or, where

appropriate, regional programmes containing measures

to mitigate, and to facilitate adequate adaptation to,

climate change, and any other information that the Party

considers relevant to the achievement of the objective of

the Convention.3

According to the Convention, each non-Annex I Party was

obliged to submit its initial national communication with-

in three years of the entry into force of the Convention for

that Party, or of the availability of financial resources.4

The least developed country Parties can submit their

initial national communications at their own discretion.

Currently, non-Annex I Parties should submit their natio-

nal communications every four years or in accordance

with any further decisions on frequency by the COP,

taking into account a differentiated timetable and the

prompt provision of financial resources to cover the

agreed full costs incurred by non-Annex I Parties.5 The re-

quired contents of the national communications and the

timetable for their submission are different for developed

and developing country Parties.

In 1996, Parties adopted detailed guidelines for the

preparation of national communications from developing

country Parties.6 These guidelines, for the first time, de-

fined the scope, structure and content of the information

to be reported in the national communication.7 The fol-

lowing year, the initial round of national communications

consisted of submissions from six developing country

Parties, including Argentina, Jordan, Mexico, Micronesia

(Federated States of), Senegal and Uruguay. This was the

first fulfilment of the reporting obligations under the

Convention by developing country Parties.

In order to improve national communications from

developing country Parties through technical advice and

support, in 1999, the COP established the Consultative

Group of Experts on National Communications from Par-

ties not included in Annex I to the Convention (CGE).8 This

group is considered as the key technical support element

under the Convention to assist developing country Parties

in meeting their reporting obligations.

In 2002, COP 8 arrived at in two important decisions

relating to reporting by developing country Parties. First,

recognizing the significant and positive role played by the

CGE in improving the process of the preparation of nation-

al communications from non-Annex I Parties, its term was

continued for another five years from 2003 to 2007 with a

broader mandate for technical assistance.9 Secondly, the

COP adopted the revised guidelines for the preparation of

national communications which, to date, have provided

the basis for the preparation of national communications

from non-Annex I Parties.10

Until COP 13, there was no process for considering the

national reports submitted by developing country Parties

under the Convention, except for the compilation and

2) For example, decisions 17/CP.8, 1/CP.13, 1/CP.16, 2/CP.17, 2/CP.18 and 14/CP.19.

3) Article 4, paragraph 1, and Article 12, paragraph 1, of the Convention.

4) Article 12, paragraph 5, and Article 4, paragraph 3, of the Convention.

5) Decision 1/CP.16, paragraph 60.

6) Decision 10/CP.2.

7) These guidelines were revised in 2002 at COP 8 (decision 17/CP.8).

8) Decision 8/CP.5.

9) Decision 3/CP.8.

10) Decision 17/CP.8, annex.



synthesis of information reported in submitted national

communications. It was at COP 13 through the Bali Action

Plan that Parties agreed on the principle of applying MRV

to developing country Parties in the context of undertak-

ing enhanced national/international action on mitigation

of climate change.11 This provided the foundation for the

subsequent elaboration of the existing comprehensive

MRV framework for developing country Parties.

The process of MRV, which started at COP 13 in 2007,

resulted in a few key milestones at COP 16 in 2010 (see

Figure 1). In addition to defining the frequency of the

submission of national communications from non-Annex

I Parties – every four years – further elements of MRV were

agreed upon,12 including:

• Enhancing reporting in national communications,

including GHG inventories, from non-Annex I

Parties on mitigation actions and their effects, and

support received;

• Submitting BURs every two years;

• Conducting ICA of BURs that aims to increase the

transparency of mitigation actions and their effects;

• Subjecting both domestically and internationally

supported mitigation actions to domestic MRV.

Furthermore, at COP 16, developing countries agreed

to undertake nationally appropriate mitigation actions

(NAMAs) (see Box 1). A registry was set up to record NAMAs

and the support available, and to facilitate the matching

of support to NAMAs. Parties also agreed that domestically

Figure 1:

Key milestones in the development of the MRV framework for developing country Parties

1992/1994 The Convention establishes reporting obligations for all Parties and timelines for the initial national communications from developing country Parties (Article 12, paragraph 5, and Article 4, paragraph 3)

1996The guidelines for the preparation of national communications from developing country Parties: scope, structure and content (decision 10/CP.2)

1997 The rst reporting under the Convention by developing country Parties through the initial round of national communications

1999 The Consultative Group of Experts on National Communications from Parties not included in Annex I to the Convention (CGE) is established to assist countries in their reporting obligations

2002 COP 8 adopted the revised guidelines for the preparation of national communications (decision 17/CP.8) and extended the term of the CGE for the period 2003-2007 with a broader mandate for technical assistance (decision 3/CP.8)

2007 COP 13 agreed to the principle of applying measurement, reporting and verication (MRV) to developing country Parties in the context of undertaking enhanced national/international action on mitigation of climate change (decision 1/CP.13)

2009

2010

COP 16 dened the frequency of the national communications every four years, and introduced additional elements of MRV (decision 1/CP.16): enhanced reporting in national communications, including inventories, on mitigation actions and their effects, and support received; biennial update reports (BURs) every two years; international consultation and analysis (ICA) of BURs; and domestic MRV of domestically supported mitigation actions

CGE is reconstituted for the period 2010-2012 to continue providing technical support and enhancing the capacity of developing country Parties to prepare their national communications

2011

COP 17 adopted the guidelines for the preparation of BURs and the guidelines and modalities for ICA: the rst BUR to be submitted by December 2014, consistent with the capabilities and the level of support provided for reporting; least developed country Parties and small island developing States may submit this report at their discretion; the rst BUR is to cover, at a minimum, the inventory for the calendar year no more than four years prior to the date of submission; ICA will commence within six months of the submission of the rst round of BURs; ICA will include a two-part technical analysis and facilitative sharing of views

2013COP 19 adopted several decisions on the elements of the MRV framework: composition, modalities and procedures for the team oftechnical experts under ICA (decision 19/CP.19); general guidelines for domestic MRV (decision 21/CP.19); seven decisions of the Warsaw Framework for REDD-plus; and the term of the CGE continued for the period 2014-2018 with a broader mandate





13

supported mitigation actions (those undertaken without

international support) will be subject to domestic MRV “in

accordance with general guidelines” to be developed by

the COP. These provisions are discussed in more detail in

chapter 3.6.

The development of revised guidelines for the reporting

of mitigation actions and GHG inventories, and process-

es to facilitate this reporting, were central to efforts to

implement the agreements reached in Cancun. COP 17

adopted the guidelines for the preparation of BURs as well

as modalities and guidelines for ICA. These two decisions

provided sufficient basis to initiate the operationalization

of the MRV framework resulting from the Bali Action Plan.

It was decided that developing country Parties should,

consistent with their capabilities and the level of support

provided for reporting, submit their first BUR by Decem-

ber 2014. After the submission of the first BURs, they are

to be submitted every two years on a mandatory basis. The

least developed country Parties (LDCs) and small island

developing States (SIDs) may submit this report at their

discretion.

The first rounds of ICA will commence within six months

of the submission of the first round of BURs by developing

country Parties. The frequency of the subsequent rounds

of ICA is determined by the frequency of the submission

of BURs, which is normally every two years, with special

flexibility for SIDs and LDCs, which may undergo ICA at

their discretion. ICA will consist of two steps: the techni-

cal analysis of BURs by a team of technical experts; and

a facilitative sharing of views, in the form of a workshop

convened at regular intervals under the Subsidiary Body

for Implementation (SBI).

Two years later, COP 19 made another significant advance

in the implementation of the MRV framework, resulting

in a number of decisions capturing all the key elements

necessary for the implementation of the MRV framework

for developing country Parties:

• Composition, modalities and procedures for the

team of technical experts to conduct technical

analysis under ICA;13

• General guidelines for domestic MRV; 14

• The Warsaw Framework for REDD-plus.

Furthermore, the term of the CGE was continued for

another five years from 2014 to 2018. The mandate was

expanded to include the capacity-building of experts par-

ticipating in the technical analysis under ICA.

The subsequent chapters outline the key elements of the

MRV framework for developing country Parties based on

the latest decisions and guidelines adopted by the COP.

They also draw upon practical experience generated

through the years of developing and implementing the

MRV framework.

13) 19/CP.19.

14) 21/CP.19.

Nationally appropriate mitigation actions (NAMAs) were introduced in the international climate negotiations in 2007. The Bali

Action Plan stated that the enhanced action on mitigation is to include “nationally appropriate mitigation actions by developing

country Parties in the context of sustainable development, supported and enabled by technology, financing and capacity-building, in a

measurable, reportable and verifiable manner”.

Effectively, NAMAs refer to mitigation actions by developing countries that aim at achieving a deviation in GHG emissions relative

to ‘business as usual’ emissions in 2020. Such actions could be undertaken by a country on its own with domestic resources

(domestically supported NAMAs), or with international support, including capacity-building, finance or technology (internationally

supported NAMAs). NAMAs can take various forms, ranging from policy or regulatory interventions at the national or sectoral

level (e.g. emissions trading schemes, feed-in-tariffs), to project-based NAMAs targeting specific investments or technology (e.g.

development of a waste treatment facility).

In 2010, COP 16 decided to set up a registry to record NAMAs seeking international support, to facilitate the matching of finance,

technology and capacity-building support with these actions, and to recognize other NAMAs. The NAMA Registry has not been

designed to perform functions of MRV of mitigation actions and support. The latter is provided for by other mechanisms, which are

discussed in this handbook. Participation in the registry is voluntary. More information is available on the NAMA Registry at .

Box 1: Key concepts – NAMAs and low-carbon development strategies

KEY ELEMENTS OF THE MRV FRAMEWORK AT THE INTERNATIONAL LEVEL

Chapter 3



15

The existing framework for MRV under the Convention for

developing country Parties consists of several elements,

which have been put in place gradually through a set of

decisions by the COP over the period 2004–2013.

Some of these elements are implemented at the interna-

tional level and others at the national level. At the interna-

tional level, the MRV framework for non-Annex I Parties

includes:

• Guidance on reporting through national communi-

cations and BURs;

• Guidance on setting up domestic MRV frameworks;

• A process for consideration of information submitted

by non-Annex I Parties in their BURs through ICA;

• For those non-Annex I Parties that voluntarily im-

plement REDD-plus activities and wish to take the

opportunity of a results-based payment, interna-

tional guidance on MRV for REDD-plus activities

applies.

At the national level, Parties are expected to implement

the international guidelines for domestic MRV frame-

works and to prepare and report information according

to the guidance on reporting through national communi-

cations and BURs, including information on GHG emis-

sions and removals by sinks, mitigation actions and their

effects, and support needed and received.

This chapter describes each of the key elements of the

MRV framework (see Figure 2).

National communications• Measurement of GHG emissions • and sinks (GHG inventory)• Steps to implement Convention

BURs• GHG inventory report• Measurement of mitigation actions• and their effects• Reporting on domestic MRV system• Needs and support received

ICA• Technical analysis of the BURs• Facilitative sharing of views

Decision 17/CP.8Annex III to decision

2/CP.17Decisions 2/CP.17

and 20/CP.19

International MRV

Domestic MRV

Determine arrangementsfor domestic MRV of

domestically supportedNAMAs (voluntary)

Report on domesticMRV in the BUR

Report REDD-plus results in a technical annex to the BUR• Applies to Parties seeking to obtain and receive payments for results-based actions

Decision 21/CP.19

MRV for REDD-plus (voluntary)

Decision 14/CP.19

Decision 21/CP.19

Figure 2:

Key elements of the MRV framework



Measurement for non-Annex I Parties applies both to efforts to address climate change and to the impacts of

these efforts, including the level of GHG emissions by

sources and removals by sinks, emission reductions and

other co-benefits. Such measurement occurs at the nation-

al level. Initially, it referred to the measurement of GHG

emissions by sources and removals by sinks through the

national GHG inventories, which are reported in national

communications. Based on the decisions adopted at COP

16 and 17, non-Annex I Parties now need to measure the

specific effects of national mitigation actions as well as the

support needed and received, and to provide this infor-

mation, including a national inventory report, as part of

their BURs. The methodologies for measurement are not

defined by the Convention; therefore, in undertaking

measurement Parties rely on methodologies developed

externally, including by the Intergovernmental Panel

on Climate Change (IPCC) and other organizations, as

discussed in more detail below. However, where possible,

the COP identifies and endorses the methodologies that

Parties should use, at a minimum.

Reporting for non-Annex I Parties is implemented through the national communications and BURs. Parties

are required to report on their actions to address climate

change in their national communications, which include

information on the GHG inventories, adaptation, mit-

igation actions and their effects, constraints and gaps,

support needed and received, and other information

considered relevant to the achievement of the objective

of the Convention. National communications are to be

submitted every four years and prepared following the

guidance contained in the revised guidelines for the

preparation of national communications from non-Annex

I Parties contained in the annex to decision.15 BURs are

to be submitted every two years, providing an update of

the information presented in national communications,

in particular on national GHG inventories, mitigation ac-

tions, constraints and gaps, including support needed and

received.16 The first round of submission of BURs is due by

December 2014.

Verification is addressed at the international level through ICA of BURs, which is a process to increase the

transparency of mitigation actions and their effects, and

support needed and received.17 National communications

are not subject to ICA. At the national level, verification is

implemented through domestic MRV mechanisms to be

established by non-Annex I Parties, general guidelines for

which were adopted at COP 19 in 2013. Provisions for veri-

fication at the domestic level that are part of the domestic

MRV framework are to be reported in the BURs. Special

provisions have been adopted for verification of REDD-

plus activities, as discussed in chapter 3.7.

15) Decision 17/CP.8

16) Decision 2/CP.17, annex III.

17) Decision 2/CP.17, annex IV and 20/CP.19.



17

3.1. NATIONAL COMMUNICATIONS

This section provides a background on the key concepts

and provisions related to national communications and

an overview of the major elements that they should contain.

What are national communications?

National communications are at the heart of reporting on

the progress in the implementation of the Convention.

They are documents to be submitted periodically by all

Parties to the Convention containing information on their

emissions by sources and removals by sinks of all GHGs not

controlled by the Montreal Protocol, and on the steps tak-

en or envisaged to implement the Convention. The time -

lines for the preparation and reporting, as well as the fre-

quency and content, of the national communications are

different for Parties included in Annex I to the Convention

(Annex I Parties) and non-Annex I Parties, as discussed below.

The core elements of the national communications in-

clude information on a general description of the national

circumstances and institutional arrangements; emissions

and removals of GHGs through the national inventory;

steps taken or envisaged by the non-Annex I Party to imple-

ment the Convention; and any other information relevant

to the achievement of the objective of the Convention.

Parties submit their national communications to the COP,

through the UNFCCC secretariat based in Bonn, Germany,

which makes them publicly available on its website.18

How often should national communications be prepared and what is available?

COP 16 decided that non-Annex I Parties should submit

their national communications to the COP every four

years or in accordance with any further decisions on

frequency to be adopted by the COP in the future.19 This

is based on the prompt provision of financial resources

to cover the costs incurred in preparing the national

communications. Financial support for the preparation of

national communications and BURs to non-Annex I Par-

ties is provided through the Global Environment Facility

(GEF), which serves as an operating entity of the Financial

to Parties.

What information should be included?

The guidelines for the preparation of initial national

communications from non-Annex I Parties were adopted

by COP 2 in Geneva in 1996.20 These guidelines were then

revised and adopted at COP 8 in 2002. The revised guide-

lines are contained in decision 17/CP.8 and its annex.21

The purpose of the guidelines is to:

• Assist non-Annex I Parties in meeting their repor -

ting requirements;

• Encourage the presentation of information in a

consistent, transparent, comparable and flexible

manner;

• Facilitate the presentation of information on

support required for the preparation of national

communications;

• Serve as policy guidance to an operating entity of

the financial mechanism of the Convention, for the

timely provision of financial support; and

• Ensure that the COP has sufficient information to

carry out its responsibility for assessing the imple-

mentation of the Convention.

According to the revised guidelines, national commu-

nications from non-Annex I Parties should contain, at a

minimum, six thematic components, including national

circumstances and institutional arrangements; nation-

al GHG inventory; programmes containing measures

to facilitate adequate adaptation to climate change;

programmes containing measures to mitigate climate

change; other information; and constraints and gaps, and

related financial, technical and capacity-building needs

(Figure 3).

In order to assist Parties in applying the guidelines, the

UNFCCC secretariat has prepared a user manual, Repor-ting on Climate Change: User Manual for the Guidelines on National Communications from Non-Annex I Parties (hereinafter referred to as UNFCCC NC user manual).22

The UNFCCC NC user manual gives detailed step-by-step

guidance on preparing a national communication.

18) All the national communications submitted by non-Annex I Parties are available at .

19) Decision 1/CP.16, paragraph 60(b).


21) .



With the adoption of the Cancun Agreements,23 Parties

decided to enhance reporting in national communica-

tions, including GHG inventories, mitigation actions

and their effects, assumptions and methodologies, and

support received, with additional flexibility to be given to

the LDCs and SIDs.24

This section provides the highlights of the key elements of

national communications.

22) .

23) Decision 1/CP.16. See .

24) Decision 1/CP.16, paragraph 60.

25) .

Figure 3:

Key elements of national communications

Transfer of technologies

Research and systematic observation

Education, training and public awareness

Capacity-building

Information and networking

National circumstances andinstitutional arrangements

General discription of stepstaken or envisaged toimplement the Convention

National greenhousegas inventory

Technical annex (optional)

Other information consideredrelevant to the achievement of the objective to the convention

Constraints and gaps,and related nancial, technicaland capacity needs

Nationalcommunication

from a non-AnnexI Party

Programmes containing measuresto facilitate adequate adaptationto climate change

Programmes containing measuresto mitigate climate change



What happens to the information provided? Upon request of the COP, the information provided in

national communications are compiled and synthesized

by the secretariat into reports for consideration by the

SBI and the COP. To date, six rounds of compilation and

synthesis have been undertaken.25

3.1.1 National circumstances and institutional arrangements

This section of the national communication should

provide information on national development priorities,

objectives and circumstances that serve as the basis for

addressing climate change. Such information on the

national circumstances is critical for understanding a

country’s vulnerability, its capacity and ability adapting to

the adverse effects of climate change, as well as its capabil-

ities for addressing its GHG emissions within the broader

context of sustainable development.

This description may include information on features of

the national geography (e.g. climate, forests, land use and

other environmental characteristics), population (e.g.

growth rates, distribution and density), economy (inclu-

ding information on the key sectors) and education (inclu-

ding scientific and technical research institutions), which

may affect the country’s ability to deal with mitigating

and adapting to climate change, as well as information

regarding its specific needs and concerns arising from the

adverse effects of climate change and/or the impact of the

implementation of response measures.26

Parties may also include a description of the institutional

arrangements relevant to the preparation of national

communications, including:

• Information on the distribution of responsibilities

within government departments and other relevant

organizations;

• Climate change coordinating bodies (establish-

ment, funding, membership);

• Involvement and participation of stakeholders;

• Information on technical/expert groups (e.g. GHG

inventory, vulnerability and adaptation assessment,

and mitigation).

In preparing this document, countries may document ex-

isting arrangements and their status, and identify and list

future improvements (see Box 2: Example of key questions

to address in describing institutional arrangements for

national communications and Table 1).

1926) As contained in Article 4, paragraph 8, and, as appropriate, Article 4, paragraphs 9 and 10, of the Convention.

• Overall coordinating responsibility: for example, the Ministry of Environment:

- To whom is the coordinating responsibility allocated? What is the legal status of that body? What are the reporting lines within

the government?

• Contribution from other institutions and experts:

- What other institutions are involved and what are their roles? Which institutions are responsible for the key sectors and for

the key corresponding sections of the national communications (e.g. actions to address adaptation, mitigation and the GHG

inventory);

- What is the involvement of non-State institutions (e.g. trade associations, non-governmental organizations, universities and

research centres)?

• Quality assurance/quality control procedures:

- Checks for the adequacy of the methodology;

- Transparency arrangements;

- Use of third-party reviews (e.g. by national or international experts not involved in inventory development);

• Any provisions for public consultation or other forms of stakeholder engagement

Box 2: Example of key questions to address in describing institutional arrangements for national communications

20



Role Organization Contact InformationComments (status of the institutional arrangements)

Overall institutional arrangements for UNFCCC focal point, national communications, BURs and GHG inventory

UNFCCC focal point (name)

and UNFCCC focal point agency

Describe the arrangements between

the inventory agency/organization,

the UNFCCC focal point agency and

the BUR focal point, if different

Designated national coordinator/agency

for the preparation of national communications

and biennial update reports

National focal point for national GHG

inventories (if applicable)

National focal point for adaptation (if applicable)

National focal point for mitigation (if applicable)

National focal point for climate finance, etc.

National inventory management team (similar tables could be adapted, as appropriate, for other themes such adaptation, mitigation, finance, etc.)

National GHG inventory coordinator

Sectoral leads for each sector

Archive (data and document) manager/coordi-

nator

QA/QC coordinator

Uncertainty analysis coordinator

Other

Sectoral roles and arrangements (similar tables could be adapted, as appropriate, for other themes such adaptation, mitigation, finance, etc.)

Technical coordinator

Expert compiling estimates

Expert reviewer

Data provider

Other

Table 1:

Example of how information on institutional arrangements can be reported



21

3.1.2 National greenhouse gas inventories

3.1.2.1 Guidelines and methodologies

In developing national GHG inventories, Parties should

use, at a minimum, the Revised 1996 Intergovernmental Panel on Climate Change (IPCC) Guidelines for National Greenhouse Gas Inventories (hereinafter referred to as the Revised 1996 IPCC Guidelines) (see Box 3). These

guidelines are complemented by the IPCC Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories (2000) and the IPCC Good Practice Guidance for Land Use, Land-Use Change and Forestry (2003) (hereinafter referred to as the IPCC good practice guidance for LULUCF).27

In choosing which methodology to apply, Parties should

consider the availability of data. The IPCC inventory

methodologies are divided into various levels or tiers.

Generally, the higher the number designating the tier, the

more detailed the methodology and the more accurate

the emission estimates. Tier 1 represents the minimum,

or default, methodology. If sufficient data are available,

a Party can try to apply a higher tier. Tiers 2 and 3 involve

more elaborate methods which could be either source

category specific or technology-based. These methods

require more detailed data and/or measurements for their

application. In the case where a national methodology ex-

ists and is consistent with the IPCC Guidelines, it is highly

advisable to use this methodology, but it should be fully

documented, in order to allow the reader to understand

why it is better than the default proposed by the IPCC.

Parties are also encouraged, to the extent possible, to un-

dertake any key category analysis as indicated in the IPCC

good practice guidance to assist in the development of

inventories that better reflect the national circumstances.

A key category is one that is prioritized within the national

inventory system because its estimate has a major influ-

ence on a country’s total inventory of direct GHGs in terms

of absolute level of emissions, or trends in emissions, or

both. The CGE has released updated training material on

the key category analysis, which is available at .

3.1.2.2 Coverage and the inventory preparation cycle

Non-Annex I Parties should estimate national inventories

of all GHGs not controlled by the Montreal Protocol, to the

extent capacities permit, for the year 1994 for the initial

national communication or alternatively may provide

data for the year 1990. For the second national commu-

nication the national GHG inventories should be, at a

minimum, estimated for the year 2000. The least devel-

oped country Parties could estimate their national GHG

inventories for years at their discretion.

Each non-Annex I Party shall, as appropriate and to the

extent possible, provide in its national inventory, on a

gas-by-gas basis and in units of mass, estimates of anthro-

pogenic emissions of carbon dioxide (CO2), methane (CH4)

and nitrous oxide (N2O) by sources and removals by sinks.

Parties are encouraged to provide information on an-

thropogenic emissions by sources of hydrofluorocarbons

(HFCs), perfluorocarbons (PFCs) and sulphur hexafluoride

(SF6) and of other GHGs such as carbon monoxide (CO),

nitrogen oxides (NOx) and non-methane volatile organic

compounds (NMVOCs). Other gases not controlled by the

Montreal Protocol, such as sulphur oxides (SOx), included

in the IPCC guidelines may be included at the discretion of

the Parties.

Parties wishing to report on aggregated GHG emissions

and removals expressed in CO2 equivalent should use the

global warming potentials (GWP) provided by the IPCC in

its Second Assessment Report (hereinafter referred to as

the 1995 IPCC GWP values) based on the effects of GHGs

over a 100-year time horizon.

The guidelines for the preparation of national communi-

cations from non-Annex I Parties in the annex to decision

17/CP.8 contain two template tables for reporting, one

for the national GHG inventory of anthropogenic emis-

sions by sources and removals by sinks of all GHGs not

controlled by the Montreal Protocol and GHG precursors

(table 1), and another for the national GHG inventory of

anthropogenic emissions of HFCs, PFCs and SF6 (table 2).

Parties are expected to report, at a minimum, their data

on the national GHG inventory using table 1. Further, Par-

ties are encouraged to include in their national communi-

27) .

22



cations table 2 as well as the inventory sectoral tables and

worksheets, which summarize the emissions by sectors, in

both electronic and hard copy format. For further detailed

guidance on reporting national GHG inventories, please

refer to the UNFCCC NC user manual or the annex to deci-

sion 17/CP.8.

According to the recently adopted guidelines for the

preparation of BURs, non-Annex I Parties will need to sub-

mit an inventory update report as part of their BURs on a

regular basis. The first BUR shall cover, at a minimum, the

inventory for the calendar year no more than four years

prior to the date of the submission, while subsequent

BURs shall cover a calendar year that does not precede the

submission date by more than four years (see Figure 7).

It is therefore recommended that the years chosen for the

inventory in the national communication are consistent

and meet the requirements of the BUR.

Figure 4 shows the main elements of the GHG inventory

cycle. It is crucial that, based on its national circumstanc-

es, a country starts by setting up proper institutional ar-

rangements, which will allow for the smooth and regular

development of GHG inventories. Subsequently, during

the GHG inventory development phase, it is equally im-

portant to fully and systematically document all the data

and the methods used. Quality assurance (QA) and quality

control (QC) will apply in parallel, while an archiving

system (both for electronic and hard copy versions of the

information stored) will need to be created and main-

tained. The key category analysis will be applied in order

to help countries prioritize their efforts, as well as the use

of their resources, and a national inventory improvement

plan will pave the way for the next GHG inventory which

will address some of the limitations identified in the cur-

rent one.

The IPCC Greenhouse Gas Guidelines provide detailed methods for estimation of GHG emissions by sources and removals by sinks. The

guidelines have been updated over time to include more emission source and removal categories and to improve methods. The Good

Practice Guidance adopted by the IPCC in 2000 also provided guidance on the identification of the key inventory categories, inventory

management and planning, such as selection and collection of data, and quality assurance and control. The Good Practice Guidance

on Land Use, Land-Use Change and Forestry was adopted by the IPCC in 2003.

The 2006 IPCC guidelines update and synthesize the Revised 1996 Guidelines, Good Practice Guidance and Uncertainty Management

in National Greenhouse Gas Inventories and Good Practice Guidance for Land Use, Land-Use Change and Forestry. While there are

some structural changes in the 2006 guidelines, including the combination of the previously separate Agriculture and LULUCF sectors

into one sector, for the most part the inventory methods in the 2006 Guidelines are updates of the previous editions (e.g. additional

sources, new default emission factors).

In addition to guidance on appropriate estimation methods, the 2006 Guidelines also include cross-sectoral good practice guidance

for inventory preparation. This includes collection of activity data, key category analysis, quality assurance and control, and inventory

planning and documentation.

Since the IPCC Guidelines are intended to be used by all countries with different capacities, they provide different tiers of methods for

each category of emission source or removal category. The higher tier methods (Tier 3 being the highest) are typically more detailed,

data intensive, and rely on country-specific parameters to estimate emissions. In contrast, Tier 1 methods utilize more aggregated

data and default emission factors.

Source: Breidenich, C. 2011. Improving Reporting of National Communications and GHG Inventories by Non-Annex I Parties under the Climate Convention. Natural Resources Defense Council.

Box 3: IPCC Guidelines



23

3.1.2.3 National arrangements

Non-Annex I Parties are encouraged to describe the pro-

cedures and arrangements undertaken to collect, docu-

ment, quality check and archive data for the preparation

of national GHG inventories, as well as efforts to make this

a continuous process, including information on the role of

the institutions involved. Parties are welcome to provide

information about the procedures and arrangements (e.g.

institutional) established in order to sustain the process of

data collection, documentation, quality checking and ar-

chiving. This is intended to help make inventory prepara-

tion a continuous process. The CGE has released updated

training material on national arrangements, which is

available at .

3.1.2.4 Technical support

In order to assist non-Annex I Parties in developing and

reporting their GHG inventories as a part of their nation-

al communications, the UNFCCC secretariat developed

a web-based software tool, which incorporated all the

elements prescribed by decision 17/CP.8.29 Access to the

web-based software tool is provided through the national

focal points for the UNFCCC. Upon request to the secretar-

iat, each non-Annex I Party will be provided with access

to a password-enabled working space in the web-based

software tool. The individual working space contains the

following functionalities:

28) .

29) .

Figure 4:

The GHG inventory cycle28

PLAN

COLLECT

ESTIMATEWRITE

IMPROVE

FINALIZE

Invite all those identi�edin step one

Inventory kick-off meeting: meet with sectorexperts, data providers, and data compilers

Send letters to collaboratorsand organizations

Choose methods andidentify available data

Prepare and quality control the dra report

Organize activity dataand emission factors

Collect and quality controldata and emission factors

Address errors and comments from the review

Complete by Month ZFinalize inventory dra, key category analysis,and prepare archives

Cycle beginsagain

Submit to United Nations, preparenational inventory improvement plan

Quality assurance of the dra report

Dra and quality control key category analysis

Prepare and quality control initial estimates

Source: US Environmental Protection Agency (December 2011). “Institutional Arrangements Template." Developing a National Inventory System Template Workbook. EPA Publication Number 430-K-11-005. Page 1-10.

24



• Modules to estimate and report GHG emissions,

and conduct key source analysis, consistency and

completeness checks;

• Exporting to and importing from the Excel and Xml

formats;

• Inventory management, including management of

users and different versions of the inventory;

• Archiving of the finalized GHG inventories.

Furthermore, the CGE has released training materials on

national GHG inventories, which are available at .

In addition to these tools, there are other tools available

(for example, IPCC Inventory Software based on the 2006

IPCC guidelines for national GHG inventories, Agricul-

ture and Land Use National Greenhouse Gas Inventory

Software (ALU) from Colorado State University, CollectER/

ReportER emission inventory software from European En-

vironment Agency (EEA) and its European Topic Centre on

Air and Climate Change) to choose depending on the need

and relevance to each Party. While there are many tools

to choose from, the final decision to use the tool should

be determined by the depth of information available and

needed to run the tool, expertise available in the country,

and the national circumstances.

As noted above, following the decisions adopted at COP 16

and COP 17, in reporting their estimates of GHG emissions

and removals by sinks, non-Annex I Parties are now re-

quired to prepare and submit a national inventory report

as part of their BURs, which should allow for the compre-

hensive reporting of information (see chapter 3.2 below

for further details).

3.1.3 General description of steps taken or envisaged to implement the convention

Each non-Annex I Party, as a part of its national commu-

nication, should communicate a general description of

steps taken or envisaged to implement the Convention,

taking into account its common but differentiated respon-

sibilities and specific national and regional development

priorities, objectives and circumstances. Non-Annex I

Parties may provide information on programmes contain-

ing measures to mitigate climate change and measures to

facilitate adequate adaptation to climate change. Taking

into account Article 4, paragraph 7, and, as appropriate,

Article 4, paragraphs 3 and 5, of the Convention, the

extent to which developing country Parties will effective-

ly implement their commitment to communicate this

information will depend on the effective implementation

by developed country Parties of their commitments under

the Convention relating to financial resources and trans-

fer of technology.

Essentially, this section of the national communication

could provide a summary of the overall steps taken in

terms of setting up institutional arrangements for ad-

dressing climate change and high-level measures taken

on adaptation to and mitigation of climate change. For ex-

ample, in this section, countries could highlight whether

a governing body (or bodies) has been allocated respon-

sibilities for addressing climate change and whether a

national vulnerability and adaptation assessment and/or

national adaptation plan have been developed. Regard-

ing mitigation, it could report whether a national mitiga-

tion assessment has been undertaken and at which levels

mitigation actions (i.e. a pledge under the Convention

or particular NAMAs or other types of actions) have been

identified or implemented. If a country has developed a

national mitigation or adaptation strategy or adopted

climate change legislation, these developments should

also be reported in this section. The detailed description of

adaptation and mitigation measures should be left to the

corresponding specific sections as outlined below.

3.1.4 Programmes containing measures to facilitate adequate adaption to climate change

This section of the national communication should pro-

vide more detailed information on the activities, measures

and programmes that are being undertaken or planned

in the country to adapt to climate change, including those

undertaken on a regional basis in the context of the over-

all efforts to implement the Convention outlined in the

initial sections, and could include information on:

• The Party’s vulnerability to the adverse effects of

climate change, including:

- The scope of the vulnerability and adaptation as-

sessment, including the identification of vulnera-

ble areas that are most critical;

- A description of the approaches, methodolo-

gies and tools used, including scenarios for the

assessment of impacts of, and vulnerability and

adaptation to, climate change, as well as any

uncertainties inherent in these methodologies;



25

- For example, the use of the IPCC Technical Guidelines for Assessing Climate Change Im-pacts and Adaptations30 and other approaches, such as the guidelines for national adaptation

programmes of action,31 national adaptation

plans or adaptation policy frameworks, other

case studies, use of expert judgment and inter-

national literature;

- The main limitations of the vulnerability and

adaptation assessment, including methodo-

logical, technical, institutional and financial

limitations;

- Vulnerability to the impacts of, and adaptation

to, climate change in key vulnerable areas.

Information should include key findings, and

direct and indirect effects arising from climate

change, allowing for an integrated analysis of

the country’s vulnerability to climate change.

• Adaptation measures being taken to meet the spe-

cific needs and concerns arising from these adverse

effects, including:

- Evaluation of strategies and measures for adapt-

ing to climate change in key areas, including

those which are of the highest priority;

- Where relevant, Parties may report on the use of

policy frameworks, such as national adaptation

programmes, and plans and policies for develop-

ing and implementing adaptation strategies and

measures.

Parties are also encouraged to report on how Article 4,

paragraphs 8 and 9, of the Convention, as appropriate,

are being implemented in the country (see Box 4).

3.1.5 Programmes containing measures to mitigate climate change

This section of the national communication should

include information on the steps taken or envisaged and

programmes and measures implemented or planned

which contribute to mitigating climate change by

addressing anthropogenic emissions by sources and re-

movals by sinks of all GHGs not controlled by the Montreal

Protocol, including, as appropriate, relevant information

by key sector on:

• Methodologies;

• Baseline and mitigation scenarios and projections;

• Results;

• Programmes and measures implemented or

planned;

• Institutional arrangements.

Similar to adaptation measures, the type and level of

measures to mitigate climate change will vary greatly

from country to country depending on the national cir-

cumstances and development priorities. Generally,

the hierarchy of mitigation actions may include:

Measures to facilitate adequate adaptation vary greatly depending on the national circumstances, socioeconomic structures, specific

vulnerabilities and national priorities of countries. Ideally, these measures should be based on the national or sectoral vulnerability

and adaptation assessments. Some examples of measures reported in this section include:

• Steps taken by the government to facilitate adaptation in different sectors (e.g. water resources, agriculture);

• A summary of concrete actions taken in each sector, for example:

- Water resources: glacier monitoring, protection and conservation studies, and measures and policies;

- Agriculture and forestry: vulnerability studies; design and implementation of concrete measures, such as changeover of crop

varieties; improvement and adjustment of current irrigation practices; changes in irrigation systems; sustainable management

of groundwater; tree planting; increasing the availability of water; more efficient and effective fertilization; and the

management of herd irrigation pasture and livestock infrastructure.

Box 4: Examples of measures to facilitate adequate adaptation reported in the national communications

30) .

31) FCCC/SBI/2007/27.



• National mitigation objectives (i.e. the reduction of

GHG emissions below ‘business as usual’ (BAU) level

or absolute emission reductions within a particular

period);

• Programmes and policies;

• Sectoral initiatives;

• Mitigation projects.

The CGE has released updated detailed training materials

on mitigation in the context of national communications,

which are available at .

3.1.6 Other information

This section of the national communication may include

information on:

• Steps undertaken to integrate climate change into

relevant social, economic and environmental poli-

cies and actions;

• Activities relating to technology transfer;

• Climate change research and systematic observa-

tion programmes and activities;

• Research programmes containing measures to mit-

igate climate change; facilitating adequate adap-

tation to climate change; and containing activities

related to the development of emission factors and

activity data;

• Education, training and public awareness related to

climate change;

• Capacity-building and efforts to promote infor-

mation-sharing among and within countries and

regions.

For further details, see the template developed by the CGE32

which aims to assist non Annex I Parties in determining

the information that may be provided under this section

of the national communication.

3.1.7 Constraints and gaps, and related financial, technical and capacity-building needs

In this section of the national communication, non-Annex

I Parties should describe any constraints and gaps, and

related financial, technical and capacity-building needs

associated with the implementation of activities, meas-

ures and programmes envisaged under the Convention,

and with the preparation and improvement of national

communications. They should also describe proposed

and/or implemented activities for overcoming the above

gaps and constraints, as well as financial resources and

technical support needed for the preparation of the

national communications and for the implementation of

climate change activities provided by themselves, as well

as those received from the Global Environment Facility

(GEF), Parties included in Annex II to the Convention

(Annex II Parties) or bilateral and multilateral institutions.

Non-Annex I Parties are also encouraged to provide:

• A list of proposed mitigation projects for financing;

• Information on the opportunities for, as well as

barriers to, the implementation of adaptation

measures and, as appropriate, information on how

support programmes from Annex II Parties are

meeting their specific needs and concerns relating

to vulnerability and adaptation to climate change;

• Information on development and transfer of

technology, including information on assistance

received and, as appropriate, on how they have

been utilized;

• Information on capacity-building needs, including

on other relevant needs and/or areas for capacity-

building other than those mentioned in paragraphs

45, 47, 48 and 50 of the annex to decision 17/CP.8.

When providing information on this issue it is important

to: (1) provide a clear definition of financial, technical and

capacity-building needs; (2) avoid double counting; (3)

define clearly the boundary and scope of the information

provided; and (4) make a clear link, to the extent possible,

between the need identified or support received and the

corresponding adaptation and mitigation strategy and

project.

32) .



27

3.2. BIENNIAL UPDATE REPORTS

With the adoption of the Cancun Agreements at COP 16

in 2011, the reporting by non-Annex I Parties in national

communications, including national GHG inventories, was

enhanced to include information on mitigation actions

and their effects, and support received.33 The least deve-

loped country Parties (LDCs) and small island developing

States (SIDS) have been given additional flexibility. It was

also decided that developing countries, consistent with

their capabilities and the level of support provided for

reporting, should submit biennial update reports (BURs).

What are BURs?

BURs are reports to be submitted by non-Annex I Par-

ties, containing updates of national GHG inventories,

including a national inventory report and information

on mitigation actions, needs and support received. Such

reports provide updates on actions undertaken by a Party

to implement the Convention, including the status of its

GHG emissions and removals by sinks, as well as on the

actions to reduce emissions or enhance sinks.

33) Decision 1/CP16.

Figure 5:

Key elements of the Biennial Update Reports (BURs)

Name and description of the mitigation action, including information on the nature of the action, coverage (i.e. sectors and gases),quantitative goals and progress indicators

Methodologies and assumptions

Objectives of the action and steps taken or envisaged to achieve that action

International market mechanisms

Domestic measurement reporting and verication

National circumstances and institutional arrangements relevant to the preparation of the national communications on a continuous basis

Technical annex (optional)

Biennial updatereport from anon-Annex I

Party

National inventory of anthropogenic emissions by sources and removalby sinks of all greenhouse gases (GHGs) not controlled by the MontrealProtocol, including a national inventory report

Mitigationactions andtheir effects,includingassociatedmethodologiesand assumptions

Constraints and gaps, and related nancial, technical and capacity needs, including a description of support needed and received

Any other information that the non-Annex I Party considers relevant to the achievement of the objective to the Convention and suitable for inclusion in its biennial update report

Progress of implementation of the mitigation actions and theunderlying steps taken or envisaged, and the results achieved, such as estimated outcomes (metrics depending on type of action) andestimated emission reductions, to the extent possible



Biennial Update Reports National Communications

• National circumstances and institutional arrangements rele-

vant to the preparation of the national communications;

• National Greenhouse Gas inventory, including a national

inventory report

• Mitigation actions and their effects including methodologies

and assumptions;

• Constraints and gaps, and related financial, technical and

capacity needs;

• Description of the support needed and received;

• Information on the level of support received for the prepara-

tion of the BUR;

• Information on domestic MRV;

• Any other relevant information.

• National circumstances;

• National Greenhouse Gas Inventory;

• General description of steps taken or envisaged to implement

the Convention:

- Programmes containing measures to facilitate adequate

adaptation to climate change;

- Programmes containing measures to mitigate climate

change.

• Other information considered relevant to the achievement of

the objective of the convention:

- Transfer of technologies;

- Research and systematic observation;

- Education, training and public awareness;

- Capacity-building;

- Information and networking.

• Constraints and gaps, and related financial, technical and

capacity needs.

Table 2:

Comparison of scope of reporting between the guidelines on national communications and the reporting guidelines on BURs

When and how often should BURs be prepared?

In 2012, COP 17 decided that the first BURs from non-

Annex I Parties, consistent with their capabilities and the

level of support provided for reporting, are to be submit-

ted by December 2014. The subsequent BURs should be

submitted every two years, either as a summary of parts

of the national communication34 in the year when the

national communication is submitted or as a stand-alone

update report. However, flexibility is given to LDCs and

SIDS, which may submit such reports at their discretion.

What information should be included?

The scope of the BURs is to provide an update of the most

recently submitted national communication and to

provide additional information in relation to mitigation

actions taken or envisaged to undertake and their effects

as well as support needed and received, covering the areas

shown in Figure 5 above. COP 17 adopted the “UNFCCC

biennial update reporting guidelines for Parties not

included in Annex I to the Convention”, which are con-

tained in annex III to decision 2/CP.17 (see Table 2).

The BURs should be submitted either as a summary

of parts of the national communication in the year in

which the national communication is submitted or as a

stand-alone update report. This essentially means that,

if a non-Annex I Party is due to submit a BUR in the same

year as its national communication is due, the Party may

summarize the relevant information from the national

communication addressing the key BUR elements (as per

Figure 5). In the case where the year of the BUR submission

does not coincide with that of the national communica-

tion, a separate update report would need to be prepared.

The LDCs and SIDs may submit BURs at their discretion.

34) The summary of parts of the national communication should focus on the information contained in the section on the national circumstances and institutional arrangements, contain a national GHG inventory report, summarize the information related to mitigation actions, and the section on constraints, needs and support received in relation to mitigation actions, as discussed in more detail below.



29

What happens to the information provided?

The information provided in biennial update reports is

subjected to a technical analysis by a team of technical

experts under the international consultation and analysis

process resulting in a summary report (see section 3.3 for

further details).

The following sections provide a brief overview of the key

elements of the BUR.

3.2.1 National circumstances and institutional arrangements relevant to the preparation of national communications on a continuous basis

Information within this section of the BUR updates the

information contained in the latest submission of nation-

al communications reported in accordance with para-

graphs 3–5 of the annex to decision 17/CP.8. It provides

an opportunity for non-Annex I Parties to report on their

institutional and legislative arrangements, as well as

other national circumstances that exist within a country,

that could impact the effectiveness and sustainability of

the reporting process under the Convention.

This section of the BUR could contain the following infor-

mation:

• The national circumstances, including national de-

velopment priorities, and sustainable development

objectives;

• The national institutional arrangements, includ-

ing legal or official arrangements, established, or

reinforced, to sustain the process of the preparation

of national communications and biennial update

reports on a regular basis.

In particular, this section may include information on

the relationship of the institutional arrangements for

the BUR with the broader climate change development

process and other institutional arrangements related to

the Convention. For example, Parties may wish to describe

any adjustments or changes made to the existing or new

institutional arrangements as a result of BURs (i.e. the es-

tablishment of new agencies or the formation of working

groups versus increased frequency of meetings and/or

submission of information for the existing institutions),

including how the agencies involved in the preparation

of the BUR relate to those involved in the preparation of

the national communications (i.e. information on which

bodies coordinate the work for the BUR and for the nation-

al communication and which other agencies and players

are involved); and any lessons learned or recommended

practices. Parties may also report on the cost implications

of the institutional arrangements process and on capacity-

building needs in relation to that process.

Effective institutional arrangements are essential to

the timeliness and quality of reporting, and given the

enhanced frequency of reporting implied by the BUR,

effective institutional arrangements become even more

critical. Parties are encouraged to enhance the existing,

or establish new, sustainable institutional arrangements

so that they are robust and function on a continuous

basis. There are multiple benefits, including enhanced

coordination of activities, clarification of the relation-

ships among critical institutions, an increased ability to

meeting reporting requirements effectively and efficient-

ly, enhanced national capacity, and sustainability of the

reporting process.

Suitable institutional arrangements is one of the key

factors determining a country’s ability to measure, report

and verify its emissions, as well as the actions to mitigate

climate change and the support needed and received, and

subsequently to deliver a BUR every two years. This may in-

volve, if appropriate, building on existing institutions and/

or establishing new arrangements, and may also require

a transition from temporary operations to more perma-

nent institutional arrangements to facilitate a sustained

process involving permanent national teams.

Figure 6 shows the key steps necessary for establishing

institutional arrangements to support the regular prepa-

ration of BURs, starting from planning (which includes a

workplan and the BUR preparation instructions) through

to evaluating lessons learned and identifying opportuni-

ties for improvement. It is important to identify relevant

teams and organizations, establish coordination mech-

anisms, compile information and establish procedures

to ensure systematic documentation and archiving of

information, in order to enhance transparency and ensure

the sustainability of the process.

30



The CGE has published training materials on establishing

national arrangements for preparation of BURs, which are

available at: . The training

materials, which among other things, provide an over-

view of several examples that, illustrate how developing

countries have designed effective institutional arrange-

ments to complete their NCs. These examples demon-

strate the diversity of institutional arrangements that

have been established across developing countries, while

highlighting some of the overarching lessons learned

and best practices that have emerged. They also include

examples of the templates that can facilitate setting up

national arrangements which can be adapted and used

fitting the national circumstance.

3.2.2 National greenhouse gas inventories

The BUR guidelines provide additional requirements to

those for the national GHG inventories historically applied

to the national communications. In particular, this refers

to the frequency of the reporting of inventory data and the

years for which emissions data are to be presented.

In reporting their estimates of GHG emissions and remov-

als by sinks of all GHGs not controlled by the Montreal

Protocol, non-Annex I Parties are now required to prepare

and submit a national inventory report, which should

allow for the comprehensive reporting of information.

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